Tina L. Mitchell
Sr. Paralegal
Tina Mitchell has worked in the securities industry for over 35 years. She has extensive experience in investment adviser registration and general compliance matters and works with our counsel to assist advisory firms with applications for registration. Ms. Mitchell also supports counsel with preparation and filing of regulatory documents, such as Form ADV, Section 13 filings, blue sky, and other state notice filings. She helps with client compliance policies and procedure manuals, cybersecurity and business continuity plans, and other internal control documents. Ms. Mitchell also assists with advertising and marketing reviews, risk assessments, mock regulatory audits, and regulatory research. And she supports counsel with preparation and filings for registered investment company clientele and the 15c reporting process.
Practice Areas
- Investment adviser registration (both state and federal)
- Preparation and filing of various regulatory documents, including Form ADV, Form PF, blue sky and Section 13 Filings
- Preparation of compliance program documents, including policy and procedures manuals, codes of ethics and business continuity plans
- Assists with mock regulatory examinations and annual reviews for JLG clients